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Showing 651 to 660 of 834 search results for financial crime risks in trade.
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Santander UK fined £12.4m for widespread investment advice failings
Santander UK Plc has been fined £12,377,800 by the Financial Conduct Authority (FCA) after the regulator uncovered serious failings in the way it offered financial advice from its bank. -
How implementing the Mortgage Market Review will shape the new market
Speech by Linda Woodall, Director of Mortgages and Consumer Lending, the FCA, at the Financial Services Expo, London. This is the text of the speech as drafted, which may differ from the delivered version. -
FCA steps up efforts to ensure firms are getting ready for a no-deal Brexit
We are stepping up our efforts to ensure firms are aware of what they need to do to prepare for the potential of a no-deal Brexit. -
Standard Bank PLC fined £7.6m for failures in its anti-money laundering controls
The Financial Conduct Authority (FCA) has fined Standard Bank PLC (Standard Bank) £7,640,400 for failings relating to its anti-money laundering (AML) policies and procedures over corporate customers connected to politically exposed persons (PEPs). -
FCA fines RBS, NatWest and Ulster Bank Ltd £42 million for IT failures
Tracey McDermott, director of enforcement and financial crime at the FCA said:. ... The FCA found that Banks’ did not have adequate systems and controls to identify and manage their exposure to IT risks.In particular:. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and -
FCA fines three broker firms £4,775,200 for failures relating to the detection of market abuse
The FCA has fined BGC Brokers LP, GFI Brokers Limited and GFI Securities Limited for failing to ensure they had appropriate systems and controls in place to effectively detect market abuse. -
PS20/4: Amendment of COBS 21.3 permitted link rules
This Policy Statement (PS) sets out our response to the feedback received to our Consultation Paper CP 18/40 Consultation on proposed amendment of COBS 21.3 permitted links rules. -
Implementation group on changes to deliver switching options for mortgage prisoners
The group assists industry in preparing for rule changes introduced in 2019 and to promote greater lending flexibility by firms. -
FCA establishes Temporary Registration Regime for cryptoasset businesses
The FCA is establishing a Temporary Registration Regime for cryptoasset businesses applied to be registered with the FCA to continue trading.